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The investment management industry is faced with complex issues related to the shifting regulatory landscape. Shimmerman Penn has expertise in performing financial statement audits of Investment Management firms regulated by the Ontario Securities Commission and regulatory bodies in other provinces. We have experience with a variety of fund audits and understand the structures and performance fee models that form the basis of the business. The foundation of many of our client relationships includes assurance and pro-active tax planning services and provides tailored solutions to help our clients address today’s challenges.

The advisory services we offer the industry include:

  • Providing guidance on the impact of new accounting and auditing standards
  • Assisting senior financial personnel with the implementation of these standards
  • Providing advice on ownership structures and succession strategies
  • Regulatory compliance consulting
  • Due diligence
  • Risk management


Shimmerman Penn's Investment Management sector group is an affiliate member of PMAC.  Established in 1952, Portforlio Management Association of Canada (PMAC)  is a forum for Investment Management Firms to share best practices and industry knowledge.  Read more  


Elaine Pantel at (416)323-7757 or email 

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